Current Report Filing (8-k)

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

____________________________________________

FORM 8-K

_____________________________________________

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of Earliest Event Reported):						May 5, 2021

HALOZYME THERAPEUTICS, INC.

(Exact name of registrant as specified in its charter)

________________________

Commission File Number 001-32335


Delaware						88-0488686
(State or other jurisdiction of incorporation or organization)						(I.R.S. Employer Identification No.)

11388 Sorrento Valley Road						92121
San Diego						(Zip Code)
California
(Address of principal executive offices)

(858) 794-8889

(Registrant’s telephone number, including area code)

Not Applicable

(Former name or former address, if changed since last report)

________________________

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Common Stock, $0.001 par value

HALO

The Nasdaq Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 ( §230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 ( §240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 5.07 Submission of Matters to a Vote of Security Holders.

On May 5, 2021, the Company held its Annual Meeting of Stockholders. Of the 143,301,550 shares of the Company's common stock outstanding as of the record date, 127,617,860 shares were represented at the annual meeting.

The stockholders considered five proposals at the meeting, each of which is described in more detail in the Company's definitive proxy statement filed with the Securities and Exchange Commission on March 26, 2021. The number of votes cast for and against (or withheld) and the number of abstentions and broker non-votes with respect to each matter voted upon are set forth below.

Proposal 1: Election of three Class I directors to hold office for a three-year term expiring at the 2023 Annual Meeting of Stockholders or until their respective successors are duly elected and qualified:


Names	Votes For	Withheld	Broker Non-Votes
Jean-Pierre Bizzari	79,212,267	34,831,137	13,574,456
James M. Daly	76,583,480	37,459,924	13,574,456

Each of the foregoing candidates were elected and each received affirmative votes from more than a majority of the outstanding shares.

Proposal 2: The advisory vote on the compensation of the Company's named executive officers was as follows:


Votes For	Votes Against	Abstain	Broker Non-Votes
111,785,499	1,966,895	291,010	13,574,456

The foregoing proposal was approved.

Proposal 3: The vote on a proposal to approve the Halozyme Therapeutics, Inc. 2021 Stock Plan was as follows:


Votes For	Votes Against	Abstain	Broker Non-Votes
111,100,017	2,870,383	73,004	13,574,456

The foregoing proposal was approved.

Proposal 4: The vote on a proposal to approve the Halozyme Therapeutics, Inc. 2021 Employee Stock Purchase Plan was as follows:


Votes For	Votes Against	Abstain	Broker Non-Votes
113,281,764	728,838	32,802	13,574,456

The foregoing proposal was approved

Proposal 5: The vote on a proposal to ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021 was as follows:


Votes For	Votes Against	Abstain	Broker Non-Votes
125,868,137	1,653,962	95,761	0

The foregoing proposal was approved.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.